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MM

Maureen (. Mackowski

UHLMANN INVESTMENT MANAGEMENT, L.L.C.
Castle Pines, CO
Some features on this profile are disabled
CRD#: 867207
MM

Professional summary

Maureen (nmn) Mackowski, who also goes by Maureen Mackowski, Moe Mackowski, is a registered financial advisor currently at UHLMANN INVESTMENT MANAGEMENT, L.L.C. located in Castle Pines, Colorado and UHLMANN PRICE SECURITIES, LLC located in Skokie, Illinois.

Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Maureen has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Maureen Mackowski | Moe Mackowski

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maureen (nmn) Mackowski's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 14, 2025 - Present

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

RIA
CRD#: 118025
Castle Pines, CO
Current

September 8, 2022 - Present

UHLMANN PRICE SECURITIES, LLC

Office #1: 5202 Old Orchard Road Suite 250, Skokie, IL 60077
BD
CRD#: 42854
Skokie, IL
Past

November 15, 2016 - January 22, 2024

C2C WEALTH MANAGEMENT, LLC

RIA
CRD#: 284148
Sausalito, CA
Past

November 10, 2016 - September 9, 2022

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Sausalito, CA
Past

March 3, 2003 - November 21, 2016

OSAIC FA, INC.

RIA
CRD#: 3978
SAUSALITO, CA
Past

March 3, 2003 - May 4, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

March 3, 2003 - November 21, 2016

OSAIC FA, INC.

BD
CRD#: 3978
SAUSALITO, CA
Past

September 19, 2002 - March 10, 2003

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WELLESLEY, MA
Past

July 14, 2000 - March 10, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 11, 1979 - July 18, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.

CRD#: 118025 / SEC#: 801-113188

RIA
Registered Investment Advisory firm - (5/7/2018 Approved)
Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)
Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)
Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)
Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)
Kansas
Registered Investment Advisory firm - (1/15/2026 Terminated)
Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)
Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/8/2022)
IAR
California
(10/14/2025)
RR
Colorado
(9/8/2022)
IAR
Colorado
(10/15/2025)
RR
Florida
(10/30/2025)
IAR
Pennsylvania
(10/15/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/19/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/13/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1979
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UI
UHLMANN INVESTMENT MANAGEMENT, L.L.C.
PERPETUAL WEALTH MANAGEMENT | UHLMANN INVESTMENT MANAGEMENT, LLC | UHLMANN INVESTMENT MANAGEMENT, L.L.C. | UHLMANN INVESTMENT MANAGEMENT, L.L.C.

CRD#: 118025 / SEC#: 801-113188

RIA
Registered Investment Advisory firm - (5/7/2018 Approved)
Arizona
Registered Investment Advisory firm - (8/15/2017 Approved)
Georgia
Registered Investment Advisory firm - (7/28/2017 Terminated)
Illinois
Registered Investment Advisory firm - (5/7/2018 Terminated)
Indiana
Registered Investment Advisory firm - (11/18/2014 Terminated)
Kansas
Registered Investment Advisory firm - (1/15/2026 Terminated)
Louisiana
Registered Investment Advisory firm - (11/18/2014 Terminated)
Michigan
Registered Investment Advisory firm - (8/1/2017 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
5202 Old Orchard Road Suite 250, Skokie, IL 60077
Mailing Address
Phone number
(312) 264-4400
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KONN_ADV PART 2B (2/3/2026)
ARMOUR_ADV PART 2B (2/3/2026)
BAER_ADV PART 2B (2/3/2026)
DILLON_ADV PART 2B (2/3/2026)
FINKEL_ADV PART2B (2/3/2026)
DOODY_ADV PART 2B (2/3/2026)
THOMAS LANGER (2/3/2026)
GORDON FALLONE (2/3/2026)
WILLIAM LILLWITZ ADV PART 2B (2/3/2026)
HERMANN ADV PART 2B (2/3/2026)
03.30.2023 UHLMANN INVESTMENT MANAGEMENT LLC (2/3/2026)
MAUREEN MACKOWSKI ADV 2B (2/3/2026)
UHLMANN INVESTMENT MANAGEMENT ADV II 11/05/2025 (2/3/2026)
JAMES KOZAK (2/3/2026)

Regulatory assets under management

Total Number of Accounts460
AUM (Assets Under Management)$ 273,182,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

UHLMANN INVESTMENT MANAGEMENT, L.L.C.

CRD#: 118025Castle Pines, CO

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